Charles A. Ouzts

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CRD#: 1972742

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles Allen Ouzts was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 10, 2007 - July 18, 2012

TANDEM INVESTMENT ADVISORS INC

RIA

CRD#: 109392

CHARLESTON, SC

Past

January 14, 1997 - September 3, 1997

CAPITAL RESEARCH CORPORATION

CRD#: 6314

JACKSONVILLE, FL

Past

June 7, 1996 - December 11, 1996

BUCKHEAD FINANCIAL CORPORATION

CRD#: 18398

Past

September 16, 1994 - June 18, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 19, 1989 - September 19, 1994

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TANDEM INVESTMENT ADVISORS INC

CRD#: 109392 / SEC#: 801-57846

RIA

Registered Investment Advisory firm - (9/15/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Current Firm

TANDEM INVESTMENT ADVISORS INC

CRD#: 109392 / SEC#: 801-57846

RIA

Registered Investment Advisory firm - (9/15/2000 Approved)

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Contact information

Main Address

145 King Street Suite 400, Charleston, SC 29401-2229

Mailing Address

Phone number

(843) 720-3413

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TANDEM INVESTMENT ADVISORS ADV PART 2 - NOVEMBER 2025 (11/28/2025)

Regulatory assets under management

Total Number of Accounts	10,162
AUM (Assets Under Management)	$ 3,359,046,630

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Charles A. Ouzts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TANDEM INVESTMENT ADVISORS INC

CAPITAL RESEARCH CORPORATION

BUCKHEAD FINANCIAL CORPORATION

WALNUT STREET SECURITIES, INC.

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

TANDEM INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/1997

Series 63

Date: 9/21/1989

Series 7

Date: 9/16/1989

Current Firm

TANDEM INVESTMENT ADVISORS INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TANDEM INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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